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1 FINRA Requests Comment on Qualification Examinations
2 FINRA Proposes Expansion of Safe Harbor in Cases of Suspected Financial Exploitation
3 Webull Financial Recognized As 2020 Benzinga Fintech Listmaker & Finalist in the "Best Brokerage for Beginners" Category
4 FINRA Alerts Firms to Widespread Phishing Email
5 Fake FINRA Survey Is a Phishing Scam, Regulator Warns BDs
6 Cyberattacks Soar During the Pandemic – How Regulators Responded
7 FINRA Releases Information Notice on Cybersecurity Authentication Methods
8 FINRA Mulls Further Changes to Senior Exploitation Rule
9 FINRA Bars Ex-Ameriprise Rep Who Took $42,000 From a Client
10 FINRA Amends Sanction Guidelines to Protect Older Adults
11 FINRA Moves Ahead on BD Fee Hike
12 SEC Issues Compliance Deadline, Guidance on Permitted Collateral Arrangements for Fully Paid and Excess Margin Securities Lending
13 FINRA Fines Ex-Merrill Rep Who Hid Apartment Rental Business
14 FINRA Bars Yet Another Ex-Broker From Shuttered BD First Standard
15 FINRA Postpones Arb Hearings for Rest of 2020
16 FINRA fines Raymond James $47500 for muni violations
17 Training, conflict of interest early pain points of Reg BI compliance
18 FINRA Releases Regulatory Notice on Revised NAC Sanction Guidelines
19 FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165
20 FINRA Fines Ex-Merrill Rep Who Took Client Info to New Firm
21 Black, Latino Investors More Bearish Than Whites: FINRA
22 SEC Issues Guidance Regarding Fully Paid Securities Lending Collateral Arrangements
23 FINRA Files to Boost Arbitrators' Pay
24 US brokerage firms warned of widespread survey phishing attacks
25 Elderly Merrill Customer Sues Over Broker's Liquor Store Recommendation
26 Finra denies JP Morgan effort to clamp down on breakaway brokers
27 Financial Industry In-House Leader William Fenrich on How the Sector Is Changing | Corporate Counsel
28 FINRA Phishing Email Alert & Requests Comments
29 Reg BI compliance being met despite growing pains, regulators say
30 NYSE’s Top Markets Cop to Take Cryptocurrency Job at Andreessen Horowitz
31 McGuireWoods Boosts DC Squad With Ex-FINRA Exec
32 Recent Amendments to FINRA Corporate Financing Rule Now Effective
33 Dallas Securities Law Veteran David Clouston Named Among Best in Texas
34 Compliance Hot Spots: King & Spalding Lands Former DOJ Civil Division Leader | Top White-Collar Lawyers Guide Goldman Sachs to Record-Setting Resolution | Google Ramps Up Lobbying Amid Antitrust Fight
35 Defamation Costs Allstate $4M, Even After Court Erases Wrongful Termination Verdict
36 SEC Staff Issues No-Action Letter Regarding Digital Asset Securities Trading on ATS Platforms
37 TDCI Renews Consumer Warning to Be Wary of COVID-19 Financial Scams
38 Financial Industry Regulatory Authority FINRA Update
39 Go Big Data or Go Home-Data Analytics-Enabled Compliance Programs
40 Ex Sage Point Rep Troy Bailey Invested Clients' Funds in Sham Pension Scheme
41 FINRA Challenges Need Administrative Review Before Court Trips
42 BetterLife Receives FINRA Approval and Resumes Trading on the OTC Markets
43 SEC-approved crypto IPO issuer INX acquires STO platform OpenFinance
44 SEC Dems Criticize 'Grace Period' For Rule-Breaking Brokers
45 Crypto Exchange INX Limited to Acquire Openfinance Broker-Dealer and ATS...
46 Form 8-K Golden Matrix Group, For: Oct 26
47 Email Phishing in 2020: Fake Login Pages and Credential Theft a Constant Threat for the Financial Industry
48 Award-winning Shyft Auto embarks on funding campaign
49 Form 424B2 JPMORGAN CHASE & CO
50 Andreessen Horowitz-Backed Crypto Vault Adds New Legal Chief
51 Form 424B2 CITIGROUP INC
52 Hire Up: Are Real Estate Practices Readying for a Comeback? | The American Lawyer
53 A dispute resolution program for social media companies
54 Form 424B2 UBS AG
55 Form 485BPOS UNIFIED SERIES TRUST
56 Rising Star: Tiffany J. Smith | New York Law Journal
57 UBS Yield Enhancement Strategy (YES) Investigation & Lawsuit "FINRA"
58 ExchangeRight's Broker-Dealer & RIA Relations Team Welcomes David Flamm
59 New Conference Explores Fast-Growing Area of AI in Finance
60 Swing Trading vs. Day Trading Breakdown
61 SEC Proposal to Exempt Certain "Finders" from Broker-Dealer Registration May Allow Significant Capital Raising Activities by Non-Registered Persons
62 5 Areas SEC 'Finders' Proposal Needs More Clarity
63 Overstock’s tZERO Goes Live with Retail Broker-Dealer Subsidiary
64 NYSE Threatens to Leave NJ if Financial Transaction Tax Is Enacted
65 NPR and the Corporate Criminal Element
66 FINRA Working on Reg BI Guidance, Mulling Exam Changes: Cook
67 Returns rise for Greenwich-based Interactive Brokers in Q3
68 Agora Brands Group Announces New Advisor Board Members Dr. Mia Mulrennan, Zeek Ojeh and Jonathan Rose
69 An Introduction to FINRA Enforcement Proceedings | New York Law Journal
70 Eileen Murray to lead FINRA
71 Global Technology Partner: Vizor Software
72 SEC Expands Accredited Investor and Qualified Institutional Buyer Categories
73 DC Circ. Upholds CCO's Fine For Missing 'Clear Red Flags'
74 FINRA bars former Boca Raton-based broker from securities industry
75 US: Capex Spending Intact as Durable Goods Orders Surge
76 40 Under 40: Riley A. Stephenson
77 Financial Industry Regulatory Authority (FINRA)
78 Blockchain and Digital Assets News and Trends
79 Guest column: America's financial literacy problem | Opinion
80 Robinhood Reports Potential Hacking Incident
81 Brokers Beware: FINRA Warns Member Firms of Impostor Site
82 FINRA Warns Member Firms Against Imposter Domain Name
83 SEC, FINRA Take Coronavirus Measures
84 Arkansas Is Latest State to Consider NAIC Annuity Sales Standards
85 FINRA Warns of Fake Broker Websites
86 FINRA sanctions Wells Fargo $2M over variable annuity switches
87 FINRA Issues its 2020 Artificial Intelligence Report for Industry Comment
88 Finra Issues State-Ordered Stay-At-Home Guidelines For Members
89 FINRA Warns of Email Phishing Scam
90 Finra Sanctions Stifel Nicolaus More Than $3.6 Million For UIT Violations
91 FINRA flags fake website
92 FINRA on Margin Rules, Retail Comms and CAT Reporting Compliance
93 October 27: Canadian Financial Regulatory Updates
94 Number of BDs Continues to Decline, FINRA Report Shows
95 Global Boatworks Holdings, Inc. Announces Intention to Change Corporate Name to R3 Holdings, Inc. and Apply for New Ticker Symbol
96 FINRA Revises Program Codes & Releases AI White Paper
97 Major overhaul of UAE financial services regulatory framework announced
98 Bellaire man ordered to pay $9.5 million in restitution
99 Registration Starts May 11 for FINRA, NASAA Online Test Taking
100 Finra reports 10% rise in 2019 compensation